Accreditation and CLE Rules for Pennsylvania

National Academy of Continuing Legal Education is a Pennsylvania Accredited CLE Provider. The Supreme Court of Pennsylvania CLE Board maintains an Accredited Provider listing on their website at https://www.pacle.org/links/accred_providers.asp. You can find us listed under “National Academy of Continuing Legal Education.” Additionally, you can see our official approval letter here: PA_Approval.pdf.

Pennsylvania attorneys may earn 6 hours of distance learning per compliance year from National Academy of Continuing Legal Education including 2 ethics credits. In addition to our Online Audio and Video formats the PA CLE Board has recognized our Audio CD and DVD formats as distance learning credits.

Pennsylvania attorneys are divided into three compliance groups. Compliance Group 1 must complete the annual CLE requirement by April 30 of each year. Compliance Group 2 must complete the annual CLE requirement by August 31 of each year. Compliance Group 3 must complete the annual CLE requirement by December 31 of each year. NACLE reports CLE attendance to the PA CLE board every 30 days.

Pennsylvania allows attorneys to carry over up to 24 excess credits earned from one compliance period into the next two future compliance periods. Only credits earned through live courses may be carried forward, distance learning credits may not be carried forward.

Pennsylvania CLE - Corporate Law Courses

This is a listing of Corporate Law CLE Courses for Pennsylvania.
Please make your selection below of Pennsylvania CLE courses. Our courses are available on Audio CD, DVD, Online, & Smartphone.
Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

This CLE program provides an overview of the roles and responsibilities of clearing and introducing firms. This session is intended to assist firms in making the most of the relationship with their clearing firm. Panelists discuss the roles and responsibilities of clearing and introducing firms, types of reports and services that clearing firms offer, and practices for integrating these tools into introducing firms’ compliance processes.
After attending this session, you will be able to:...

This CLE program provides efficient practices for the use of digital media. Join FINRA and industry social media and digital compliance experts as they discuss current and future trends. Topics will include how firms are addressing the compliance risks associated with social media and messaging services, the increased use of mobile, the evolution of live content and new capabilities, and practical compliance tips for native advertising, testimonials, and links to BrokerCheck.
After atte...

This CLE session discusses cybersecurity risks faced by small firms and measures they can take to control those risks on a limited budget. Panelists share their perspectives on determining a firm's cybersecurity priorities (or risk appetite) along with useful practices for designing and implementing a cost-effective Cybersecurity risk management program. Attendees will also learn about the cybersecurity resources available through FINRA’s website.
After attending this session, you will...

This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers,...

This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel.
After attending this session, you will be able to:
Compare and contrast the distinction between the first and second lines of defense.
Understand the challenges facing co...

This CLE program provides guidance on useful practices for protecting customer information, what to do in the event of a data breach and tackling other cyber security situations. Every firm needs a cybersecurity program. Is your current plan as comprehensive or robust as it should be? Are you effectively protecting your firm and your clients from threats? Whether you're just starting out or updating a well-documented approach, this session will provide actionable best practices and highlight...

This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Statistics show that the population of persons aged 65 and older is growing at a dramatic pace. This population also controls a significant percentage of personal wealth in the U.S. These facts coupled with the fact that regulators are investigating more and more cases involving complaints made by seniors have led the industry to step up efforts to protect senior...

This CLE program provides guidance on steps firms can take to comply with their due diligence obligations. Panelists discuss the features of popular complex products and their role portfolio diversification.
After attending this session, you will be able to:
Discuss industry trends with regards to new products.
Review due diligence process when on-boarding new products.
Establish product training in your own firms.
Learn about new investment product development.
Identify risk asso...

This CLE program will highlight best practices related to the hiring and supervision of registered representatives in the retail space.
After attending this session, you will:
Understand effective practices for assessing risk when considering registered representatives (RRs) for employment;
Learn how to conduct background checks.
Review screening techniques.
Identify why compliance should be involved in the on-boarding and termination process.
Learn of effective risk management c...

This CLE program provides guidance on suspicious activity monitoring and other hot topics in AML (anti-money laundering). There is no shortage of "hot topics" in the Anti-Money Laundering (AML) compliance. As the industry has taken a leading approach to address and combat money laundering risks, this panel will discuss current and emerging AML hot topics.
After attending this session, you will be able to:
Understand AML program requirements.
Identify and describe FINRA’s AML initiativ...

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